policy research and innovation research and innovation closing the innovation divide in europe:...

PolicyPolicy Research and Innovation

Research and Innovation

Closing the innovation divide in Europe:Closing the innovation divide in Europe:Interactions between Horizon 2020 Interactions between Horizon 2020

and future Cohesion policy (2014-20)and future Cohesion policy (2014-20)

Dimitri CORPAKISDimitri CORPAKISHead of Unit, RTD-C5 Head of Unit, RTD-C5

Regional Dimension of InnovationRegional Dimension of Innovation, , Research and Innovation DirectorateResearch and Innovation Directorate

Directorate General for Research and Innovation, Directorate General for Research and Innovation, European CommissionEuropean Commission

Brussels, 20/03/13Brussels, 20/03/13

20/03/13 EC DG RTD.C.5 DC 2PolicyPolicy Research and Innovation


Innovation performance

R&D expenditure in the business sector as % of GDP



Patent intensity in the EU, NUTS 2 regions, 2007

Source: IU Competitiveness Report 2011, Atlas



Web-based links between the top research institutions at country level , 2010




R&D investment: fuel for the economy

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Innovation Union Creating a Single Innovation Market by setting the

right conditions for investment in R&I:

34 commitments, including: • Unitary patent – cutting cost of patents by up to 80%;• Standards – modernising and cutting time-to-standard by half;• Public procurement - buying innovation by public sector made easier;• Policies for researchers to reside in Europe;• Regulatory framework screening; • A European passport for venture capital funds;

EU committed to support R&I investment: • Horizon 2020 & Structural Funds proposals; • Squeezing the gap between ideas and market and frontloading

growth: 2012 and 2013 FP 7 Work Programmes.

Positive outlook: Top R&D investing EU businesses expect their investments in R&D to grow by an average of 4% annually over the period 2012 to 2014

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What Europe will do for closing the innovation divide ?

• Mobilise Cohesion policy to build a Mobilise Cohesion policy to build a Stairway to ExcellenceStairway to Excellence

• Work through Horizon 2020 Work through Horizon 2020 • Deploy significant synergies between Deploy significant synergies between

Horizon 2020 and Cohesion policyHorizon 2020 and Cohesion policy



Horizon 2020 and Cohesion Policy: differences and complementary objectivesHorizon 2020 and Cohesion Policy: differences and complementary objectives

EU R&D Policy – future Horizon 2020 EU Cohesion Policy

Differences non-territorial approach, no pre-defined geo-graphical distribution of funding

place-based approach; defined financial envelope for different eligible categories of regions

Based mainly on individual R&D Projects (to a certain extent also co-funding activities of programmes are supported) tackling the whole cycle of innovation from pre-competitive, leading edge basic research to demonstration projects, pilot activities, market replication as well as innovative public procurement and the award of prizes for the achievement of pre-specified targets.

Based on multiannual Programmes aiming at increased competitiveness through close to the market competitive R&D and innovation efforts

In general awarded directly to final beneficiaries like firms, public and private R&D centers, universities or research funding organisations (for ERA-net activities, Joint Programming etc.).

Awarded through shared management to national and regional public intermediaries

Mostly competitive calls addressed to international groupings (exception ERC and MC that also address individuals) through peer-review based on excellence criteria

Non competitive attribution addressed to regional players based on strategic planning negotiation

Complementarities

Horizon 2020 will focus on tackling major societal challenges, maximising the competitiveness impact of research and innovation and raising and spreading levels of excellence in the research base

Cohesion policy will focus on galvanising smart specialisation that will act as a capacity building instrument, based on learning mechanisms and the creation of critical skills in regions and Member States. One of the results will be a better capacity to participate in Horizon 2020.



Why we need to build a Stairway to Why we need to build a Stairway to Excellence using the Structural Funds ? Excellence using the Structural Funds ? There are significant regional disparities across Europe in There are significant regional disparities across Europe in

research and innovation performance which need to be research and innovation performance which need to be addressed.addressed.

The Budget Review in 2010 has asked for a clear division of The Budget Review in 2010 has asked for a clear division of labour between Research and Innovation and Cohesion labour between Research and Innovation and Cohesion policies, policies, thus removing any capacity building activity from thus removing any capacity building activity from Horizon 2020. Horizon 2020.

Action needs to be taken to bolster research and innovation Action needs to be taken to bolster research and innovation capacities in the Member States who lag behind and thus capacities in the Member States who lag behind and thus reduce the Research and Innovation Divide in Europereduce the Research and Innovation Divide in Europe



What do we mean by Synergies • A Greek word meaning that a complex A Greek word meaning that a complex

result is accomplished through mutual result is accomplished through mutual positive interactions between a number of positive interactions between a number of distinct but interrelated processesdistinct but interrelated processes

• Thus the Research and Innovation Thus the Research and Innovation Framework Programme will have increased Framework Programme will have increased interactions with Cohesion policy, although interactions with Cohesion policy, although each policy will keep its distinct features each policy will keep its distinct features

• The result should normally be reinforced The result should normally be reinforced competitiveness for Europecompetitiveness for Europe



How Synergies will be identifiedHow Synergies will be identified We will achieve increased synergies between Horizon 2020 and We will achieve increased synergies between Horizon 2020 and

the Structural Funds if we could identify after a few years of the Structural Funds if we could identify after a few years of parallel operation, concrete results on the ground in the supported parallel operation, concrete results on the ground in the supported Member States and regions, such as:Member States and regions, such as:• Increased investments in research infrastructures of all

kinds, including those of the ESFRI List• Increased support to innovation, especially with regard

to high growth companies and to small innovative ones• Increased research and innovation activities in a few

priority thematic areas that would have been freely selected by the MS and regions, in an overall context of innovation strategies for Smart Specialisation.

• All this will be systematically planned and monitored through performance indicators



Keys to SynergiesKeys to Synergies

Smart Specialisation Smart Specialisation ex-ante conditionalityex-ante conditionality

Thematic ConcentrationThematic Concentration

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The Synergies and Smart Specialisation Matrix

STRUCTURAL FUNDS THEMATIC OBJECTIVE NO 1 ON STRENGTHENING RESEARCH, TECHNOLOGICAL DEVELOPMENT AND INNOVATION

HORIZON 2020 TOP DOWN RESEARCH AND INNOVATION PRIORITIES INFLUENCING NATIONAL AND REGIONAL PRIORITIES

THEMATIC CONCENTRATION FOR MOST ADVANCED AND TRANSITION REGIONS FOR ALLOCATING 80% OF THE ERDF MONEY FOR 4 OBJECTIVES: R&I, ICT, SME COMPETITIVENESS AND LOW CARBON ECONOMY

THEMATIC CONCENTRATION FOR LESS ADVANCED REGIONS FOR ALLOCATING 50% OF THE ERDF MONEY FOR 4 OBJECTIVES: R&I, ICT, SME COMPETITIVENESS AND LOW CARBON ECONOMY

EXCELLENCE SMART SPECIALISATION EX-ANTE CONDITIONALITYbased on a SWOT analysis to concentrate resources on a limited set of research and innovation priorities in compliance with the NRP; measures to stimulate private RTD investment; a monitoring and review system; a framework outlining available budgetary resources for research and innovation; a multi-annual plan for budgeting and prioritisation of investments linked to EU research infrastructure priorities (European Strategy Forum on Research Infrastructures -ESFRI)

INDUSTRIAL LEADERSHIP

SOCIETAL CHALLENGES



Horizon 2020 will favour “smaller” players Horizon 2020 will favour “smaller” players since it introduces:since it introduces:

A completely new approach towards A completely new approach towards supporting supporting research and innovation in SMEsresearch and innovation in SMEs (based on the concept of the well-known (based on the concept of the well-known US US SBIRSBIR scheme) scheme)

A new approach to A new approach to access to risk financeaccess to risk finance especially for especially for high-growth innovative SMEshigh-growth innovative SMEs

A major simplificationA major simplification effort in terms of effort in terms of administration and financial managementadministration and financial management



How Horizon 2020 will interface with How Horizon 2020 will interface with Cohesion policyCohesion policy

through a host of measures on through a host of measures on “Closing the Innovation Divide” “Closing the Innovation Divide”

in Europein Europe



Establishing a Policy Support Facility

Policy Support Facility (PSF) :Policy Support Facility (PSF) : This will aim to This will aim to improve the design, implementation and improve the design, implementation and evaluation of evaluation of national/regional research and national/regional research and innovation policiesinnovation policies. It will offer . It will offer expert advice expert advice to public authorities at national or regional to public authorities at national or regional levellevel on a voluntary basis, covering the needs to on a voluntary basis, covering the needs to access the relevant body of knowledge, to benefit access the relevant body of knowledge, to benefit from the insight of international experts, to use from the insight of international experts, to use state of the art methodologies and tools, to state of the art methodologies and tools, to receive tailor-made advice.receive tailor-made advice.



Establishing 'ERA ChairsEstablishing 'ERA Chairs' to attract outstanding ' to attract outstanding academics to institutions with a clear potential academics to institutions with a clear potential for research excellence, in order to help these for research excellence, in order to help these institutions fully unlock this potential and institutions fully unlock this potential and hereby create a level playing field for research hereby create a level playing field for research and innovation in the European Research and innovation in the European Research Area.Area.

• This will include institutional support for creating a This will include institutional support for creating a competitive research environment and the competitive research environment and the framework conditions necessary for attracting, framework conditions necessary for attracting, retaining and developing top research talent within retaining and developing top research talent within these institutions.these institutions.

ERA ChairsERA Chairs



Teaming for excellence and innovationTeaming for excellence and innovation Teaming of excellent research institutions and low Teaming of excellent research institutions and low

performing RDI regionsperforming RDI regions: Teaming aims at the creation of new (or : Teaming aims at the creation of new (or significant upgrade of existing) significant upgrade of existing) centres of excellence in low centres of excellence in low performing RDI Member States and regions. performing RDI Member States and regions.

It will focus on the preparatory phase for setting up or upgrading It will focus on the preparatory phase for setting up or upgrading and modernising such an institution facilitated by a teaming process and modernising such an institution facilitated by a teaming process with a leading counterpart in Europe, including supporting the with a leading counterpart in Europe, including supporting the development of a business plan. development of a business plan.

A commitment of the recipient region or Member State (e.g. support A commitment of the recipient region or Member State (e.g. support via Cohesion Policy Funds) is expected. Subject to the quality of the via Cohesion Policy Funds) is expected. Subject to the quality of the business plan, the Commission may provide further seed financial business plan, the Commission may provide further seed financial support for the first steps of implementation of the centre. support for the first steps of implementation of the centre.

Building links with innovative clusters and recognising excellence in Building links with innovative clusters and recognising excellence in low performing RDI Member States and regions, including through low performing RDI Member States and regions, including through peer reviews and awarding labels of excellence to those institutions peer reviews and awarding labels of excellence to those institutions that meet international standards, will be considered.that meet international standards, will be considered.



Twinning for excellence and innovation

Twinning of research institutionsTwinning of research institutions: Twinning aims at : Twinning aims at significantly strengthening a defined field of research in an significantly strengthening a defined field of research in an emerging institution through links with at least two emerging institution through links with at least two internationally-leading institutions in a defined field. A internationally-leading institutions in a defined field. A comprehensive set of measures underpinning this linkage comprehensive set of measures underpinning this linkage would be supported (e.g. staff exchanges, expert visits, would be supported (e.g. staff exchanges, expert visits, short-term on-site or virtual trainings, workshops; short-term on-site or virtual trainings, workshops; conference attendance; organisation of joint summer school conference attendance; organisation of joint summer school type activities; dissemination and outreach activities).type activities; dissemination and outreach activities).



Stimulating cross-border science networks

• COST, a bottom-up, open networking mechanism, COST, a bottom-up, open networking mechanism, encourages international exchanges and co-operation of encourages international exchanges and co-operation of researchers within Europe and beyond. Joint activities such researchers within Europe and beyond. Joint activities such as conferences, short-term scientific exchanges and as conferences, short-term scientific exchanges and publications are supported. publications are supported.

• Within Horizon 2020, COST should further bring together Within Horizon 2020, COST should further bring together "pockets of excellence" and play a mobilising role not only "pockets of excellence" and play a mobilising role not only for the less participating countries but also for the for the less participating countries but also for the enlargement countries and the European neighbourhood enlargement countries and the European neighbourhood policy countries. policy countries.

• COST could make a significant contribution to the COST could make a significant contribution to the development of a 'staircase to excellence' for research development of a 'staircase to excellence' for research organisations across Europe.organisations across Europe.



Measures to improve information, communication and support

• Improving information networks on European Improving information networks on European research and innovation would greatly facilitate research and innovation would greatly facilitate further participation in the Framework further participation in the Framework Programme. Programme.

• Improving information on the Framework Improving information on the Framework Programme needs, will aim to significantly Programme needs, will aim to significantly improve and monitor NCP performance in improve and monitor NCP performance in qualitative and quantitative terms, including qualitative and quantitative terms, including training efforts and enhanced access to electronic training efforts and enhanced access to electronic information. information.



What future for “Regions of Knowledge” What future for “Regions of Knowledge” and “Research Potential” types of action ?and “Research Potential” types of action ?

Provisions are made Provisions are made to integrate the to integrate the objectivesobjectives of these actions of these actions under European under European Territorial Cooperation actions (former Territorial Cooperation actions (former INTERREG) (recital 7 in draft ETC Regulation)INTERREG) (recital 7 in draft ETC Regulation)

Support to Cluster Cooperation and to Support to Cluster Cooperation and to Twinning research institutionsTwinning research institutions also present in also present in the mainstream ERDFthe mainstream ERDF



Synergies on the ground: coordinating the Synergies on the ground: coordinating the implementing Rules between H2020 and the SFimplementing Rules between H2020 and the SF

Facilitating linkages and concerted efforts Facilitating linkages and concerted efforts

•• Harmonisation of cost eligibility rules between Harmonisation of cost eligibility rules between Horizon 2020 and CPHorizon 2020 and CP ( (Lump sums, flat rates and unit Lump sums, flat rates and unit costs possible under both for funding direct and indirect costs possible under both for funding direct and indirect costs without providing documents proving real expenses, costs without providing documents proving real expenses, harmonisation of VAT rulesharmonisation of VAT rules) )

•• Possibility to combine Horizon 2020 funding AND Possibility to combine Horizon 2020 funding AND ADDITIONAL FUNDING FROM THE STRUCTURAL ADDITIONAL FUNDING FROM THE STRUCTURAL FUNDSFUNDS in the same project in the same project but for different expenditure but for different expenditure items,items, (Art. 55(8) of proposed Gen.Reg.) (Art. 55(8) of proposed Gen.Reg.)



Synergies on the ground: coordinating the Synergies on the ground: coordinating the implementing Rules between H2020 and the SF (II)implementing Rules between H2020 and the SF (II)

Possibility for a region to invest in other EU regions from a Possibility for a region to invest in other EU regions from a mainstream Operational Programme,mainstream Operational Programme, i.e. up to 10% of an OP i.e. up to 10% of an OP budget (for EAFRD 3%) if the measure is for the benefit of the OP budget (for EAFRD 3%) if the measure is for the benefit of the OP territory / important for cross-border research infrastructures (incl. territory / important for cross-border research infrastructures (incl. ESFRI Roadmap ) or cluster or value chain networking investments ESFRI Roadmap ) or cluster or value chain networking investments (Art. 60(2)) (Art. 60(2))

Enhanced territorial cooperation CP budget shareEnhanced territorial cooperation CP budget share (3.1% of (3.1% of total ERDF of which almost 6% for inter-regional cooperation) total ERDF of which almost 6% for inter-regional cooperation) allows to build trans-national linkages between regional innovation allows to build trans-national linkages between regional innovation actors, actors, building on legacy FP7 Regions of Knowledge and building on legacy FP7 Regions of Knowledge and Research Potential measuresResearch Potential measures or CIP cluster cooperation or or CIP cluster cooperation or networking of procurers or innovation agencies, and allowing to networking of procurers or innovation agencies, and allowing to include less advanced regions in a targeted manner.include less advanced regions in a targeted manner.



Implications for future Horizon 2020 stakeholders Implications for future Horizon 2020 stakeholders • Appropriate Policy Measures for Research and Innovation will be inserted timely in Appropriate Policy Measures for Research and Innovation will be inserted timely in

the Structural Funds Partnership Agreements and Operational Programmes of the the Structural Funds Partnership Agreements and Operational Programmes of the Member StatesMember States

• These will be monitored closely by DG RTDThese will be monitored closely by DG RTD

We can thus expectWe can thus expect::• An improved national and regional environment in terms of developing research An improved national and regional environment in terms of developing research

infrastructureinfrastructure• A more vibrant innovation environment where increased opportunities for A more vibrant innovation environment where increased opportunities for

commercial exploitation will emerge from the combined action of the two commercial exploitation will emerge from the combined action of the two programmes; new financial instruments will allow riskier investmentsprogrammes; new financial instruments will allow riskier investments

• Increased opportunities for extending research projects, with additional support Increased opportunities for extending research projects, with additional support from the ERDF and the ESF, if properly integrated in the context of a national from the ERDF and the ESF, if properly integrated in the context of a national /regional, Smart Specialisation Strategy./regional, Smart Specialisation Strategy.

• Alternatively, a research project can start easier within the ERDF and later try its Alternatively, a research project can start easier within the ERDF and later try its chances in Horizon 2020chances in Horizon 2020

• For all this however, remember, rules are different: for the SF, stakeholders will For all this however, remember, rules are different: for the SF, stakeholders will ALWAYS DEAL WITH THE NATIONAL AND REGIONAL AUTHORITIES, NEVER WITH THE ALWAYS DEAL WITH THE NATIONAL AND REGIONAL AUTHORITIES, NEVER WITH THE COMMISSION and this means need for better anticipation and planningCOMMISSION and this means need for better anticipation and planning



What Horizon 2020 expects from Cohesion policy

• Develop stairways to excellence through capacity building and Develop stairways to excellence through capacity building and support to a vibrant innovation-enabling environmentsupport to a vibrant innovation-enabling environment

• Upgrade the ways Cohesion policy supports Research and Upgrade the ways Cohesion policy supports Research and Innovation (increased use of international peer reviews, Innovation (increased use of international peer reviews, monitoring performance through indicators)monitoring performance through indicators)

• Improvement of information flows towards local playersImprovement of information flows towards local players• Improved local take-up of global Horizon 2020 initiatives and their Improved local take-up of global Horizon 2020 initiatives and their

enhancement by the Structural Funds (impact of transnational enhancement by the Structural Funds (impact of transnational R&D projects on local communities – feedback and interactions of R&D projects on local communities – feedback and interactions of SF R&I funded local and national schemes)SF R&I funded local and national schemes)

• Improved interactions between developing Innovation Union Improved interactions between developing Innovation Union initiatives (34 commitments of the IU Communication) at local and initiatives (34 commitments of the IU Communication) at local and regional level.regional level.



What additional measures could be What additional measures could be supported in the context of Horizon 2020?supported in the context of Horizon 2020?

It would be important for achieving the Europe 2020 strategy to It would be important for achieving the Europe 2020 strategy to be much better aware about location aspects of excellence and be much better aware about location aspects of excellence and innovation and of the geographic specificities of the Member innovation and of the geographic specificities of the Member States States

Thematic studies launched in the context of the thematic areas Thematic studies launched in the context of the thematic areas could focus on possible uptake of sectoral initiatives at the level of could focus on possible uptake of sectoral initiatives at the level of the MS: this type of information is extremely helpful for our DG the MS: this type of information is extremely helpful for our DG REGIO colleagues when exchanging and negotiating Operational REGIO colleagues when exchanging and negotiating Operational Programmes in the MSProgrammes in the MS

Mapping of excellence and innovation could be very productive, Mapping of excellence and innovation could be very productive, even for measuring our own past success and future deployment even for measuring our own past success and future deployment of new initiativesof new initiatives

PolicyPolicy Research and Innovation


The main responsibility lies now with the Member States and

Regions

Thanks for your attention

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